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Pro QC Audit Sample for ISO 9001

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Pro QC Audit Sample for ISO 9001 SA8000 Audit Report * Example Report * North America +1-813-252-4770 Latin America +52-1-333-2010712 Europe & Middle-East +49-8122-552 9590 Asia & Asia Pacific +886-2-2832-2990 Email [email protected] www.proqc.com SA8000 Social Responsibility Audit Rev. GUIDELINES 1 PURPOSE: This audit is based on defined criterion for social accountability. Scoring is based on the supplier's ability to meet the requirements. The audit focuses on factors that would result in non compliance to the social accountability standard. The intent of the audit based on the requirements of SA8000 and national/local laws is to provide useful assessment information for making sourcing decisions and reducing associated risks. SCORING: Scores are assigned based on what is done for the Pro QC client regardless of what is done for other clients. For example, if control plans are developed for other clients but not for the Pro QC client, the score must be NC. Scoring must be explained to the supplier at the opening meeting. Complies with the Requirements = C Improvement Needed = I Non-Conformance Found = NC N/A = Does Not Apply GUIDELINE FOR SCORING CONFORMANCE: Each question is assessed for conformance to the requirements of SA8000, and the auditors knowledge of the product and/or process This must be clear to the supplier at the opening meeting. Complies with Requirements = - Has objective evidence to support the question, and - Has a written procedure (when required). Improvement Needed = - Has objective evidence, but procedure needs improvement. - Has objective evidence, but no written procedure. - Has written procedure, but is lacking some objective evidence to support the question. Non-Conformance = - No objective evidence to support the question (regardless of the procedure). - Lacking some objective evidence and no written procedure. RESULTS/RECOMMENDATIONS: (Automatically Calculated) The score is based on the percent of questions that Complies with Requirements, percent that Needs Improvement, and the percent that have a Non-Conformance. Each client should review how the supplier was evaluated for each question and base their decisions on factors that are important to their organization and product(s). AUDIT REPORT: The following sections are completed by the auditor: - Scope of the Audit - Recommendations - Strengths of the Supplier's Quality System and Manufacturing Process - Opportunities for Improvement (Weaknesses in the Supplier's Quality System and/or Manufacturing Process) RESULTS REVIEW WITH SUPPLIER: The auditor should review the audit results with the supplier, but cannot provide the supplier a copy of the audit. The audit is the property of the client. CORRECTIVE ACTIONS: It is recommended that the client request a corrective action (improvement plan) based on the results of the audit. The improvement plan should include the following: - Detailed description of action plan. - Name of the person responsible for the improvement activity. - Date when the improvement will be completed. SA8000 Social Responsibility Audit Rev. SUMMARY 1 Supplier Name Audit Date Report No. XXXXXXX DD/MM/YYYY XXXXXXX SUPPLIER'S INFORMATION CLIENT'S INFORMATION NAME : NAME : XXXXXXX XXXXXXX ADDRESS : XXXXXXX ADDRESS : XXXXXXX CITY : XXXXXXX CITY : XXXXXXX COUNTRY : XXXXXXX COUNTRY : XXXXXXX PHONE : XXXXXXX PHONE : XXXXXXX FAX : XXXXXXX FAX : XXXXXXX SUPPLIER'S PERSONNEL PARTICIPATING Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX Mr./Mrs. Title: Email: PRO QC PERSONNEL PARTICIPATING Mr./Mrs. XXXXXXXXXX Title: Auditor Email: XXXXXXX Mr./Mrs. XXXXXXXXXX Title: Reviewer Email: XXXXXXX Mr./Mrs. Title: Email: Scope : SA8000 - Social Responsibility Standard AUDIT RESULTS Category Nb. Ques. % 20.5 5.5%& %& Complies with Requirements ( C ) 54 74.0% Improvement Needed ( I ) 15 20.5% Not-compliance to Requirements (NC) 4 5.5% 74.0 %& Not Applicable (N/A) 6 73 RECOMMENDATIONS Systems are effective. You could start or continue business with this supplier. System is acceptable, with minor nonconformities noted. You could use this supplier, and keep pushing for improvements. System has several major issues noted. You could temporarily use this supplier and request immediate corrective action in case of long-term business. There are serious major issues with this supplier that could impact in your business. The better solution will be to source for another supplier. SA8000 Social Responsibility Audit Rev. AUDIT REPORT 1 Supplier Name Audit Date Report No. XXXXXXX DD/MM/YYYY XXXXXXX Scope of Audit: To evaluate the social responsibility level of the supplier. Summary/Recommendation: 1) The audited factory was established on 1 November XXXX as an automated manufacturer of transparent glass containers. It is a privately owned company, 100% controlled by its investors. The factory's specialization is in design, manufacturing and sale of glass bottles for perfume, nail polish, cosmetics, food, medicines and liquors. 2) The audited factory is ISO9001 certified # XXXXXXX by the Gooup Group (UK). Its certification was obtained xx/xx/xxxx. 3) The audited factory plans to apply for SA 8000 certification in December of this year. Strengths: 1) The audited factory was acquired by XXXXXXX on 1 December 20XX, becoming its wholly owned subsidiary. 2) Sincere, open, and genuine attitude to deal with any issues. 3) Within the broad plant, there is great potential for business development. 4) Have complied with government labor law requirements, and they have inspections by GEPA (Government Environmental Protection Agency) to meet environmental protection requirements. Opportunities for Improvement: 1) The company has an established Social Accountability Manual (# M-02, V2), but needs to be approve and train. 2) A notice in the dormitory bulletin board announcing that residents will be fined NTD 100 ~ 50,000 if they do not turn off the power or are found smoking at non-smoking area. Supplier should use other means to implement. 3) The facility must develop policy or procedure to evaluate their supplier/ contractors for implementation for SA. 4) An open power switch control container with exposed electric terminal was found near the walkway, in order to let the power breaker radiate. Dangerous: Should change to other methods to radiate, such as exhaust fan. 5) Some fumes at the defect glass recycle process; found visible fumes during break glass by pressure. 6) Xylene odors filled the ink storage room because no window or equipped exhaust fan or air conditioner is in this room. This will be harmful to human health and also shorten the life of the ink causing deterioration of printing quality. Should improve the draft equipment. 7) Dimly lit in walkway and warehouse in order to save the electricity. Should be improved as soon as possible. 8) Please refer additional improvement items in "AUDIT CHECKLIST" section of the report. SA8000 Social Responsibility Audit Rev. AUDIT CHECKLIST 1 Supplier Name Audit Date Report No. XXXXXXX DD/MM/YYYY XXXXXXX C = Complies with the requirements, I = Improvement Needed, NC = Not Complies, N/A = Not Applicable QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE 1 CHILD LABOR 1.1 Does the company know the Ask HR department or individual Yes, HR Manager Mr. XXX knows the minimum legal working age? responsible for hiring employees. Ask minimum legal working age is 16 if that person has a documented years old according to national law. national law in which the minimal The government's law is available -- working age is written. "Labor Standard Act". C 1.2 Does a written policy exist at Review policy and record the Yes, Worker Administration Procedure the company addressing legal document number in which this policy (WAP) in place (issue date 2009-10- minimum age or 15, whichever is written. 21) specifies the minimum legal is greater? working age must not be less than 16 years old, which complies with C national legislation and regulations. 1.3 What are the procedures the Review the procedure, and ask the Follow the WAP to verify the age from company follows to verify the audited person to explain the the ID card and record on personal age of its employees? procedure records. C 1.4 Are ages of all employees Select 5 employees (of apparent Yes, following employee data was checked prior to hiring? youngest age) at each workshop, checked. record their name and ID, ask them 1.ID# 146.age=18, hire date=2008-10- their age, year of birth, date of hire. 6 Ask them if their employer asked for 2.ID# 100.age=26, hire date=2009-12- age identification at the time of their 21 hiring. Cross check employee 3.ID# 124.age=23, hire date=2008-9- information with HR records. 1 C 4.ID# 142.age=30, hire date=2010-1- 11 5.ID# 199.age=28, hire date=2010-1- 25 1.5 Are any employees found to be Record the name of the worker(s) None found. The company has no under the minimum legal age found to be under minimum legal age employees under the age of 15. or 15, whichever is greater, or 15. Possibly take a photo of the during the audit review? worker(s). C 1.6 Does the organization have a Check if any or more of following Remedial procedure exists. (No#. remedial program for under remedial programs is planned : SP4-12), The content conforms to the age-hired workers? a) Hire one of his or her family SA 8000 standard. members. b) Send them to school. c) Feed them. C d) Pay for them to go home. Record the documented number in which this program is written SA8000 Social Responsibility Audit Rev. AUDIT CHECKLIST 1 Supplier Name Audit Date Report No. XXXXXXX DD/MM/YYYY XXXXXXX C = Complies with the requirements, I = Improvement Needed, NC = Not Complies, N/A = Not Applicable QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE 2.5 Are all employees free to stop Interview five employees at each 1.Yes, local workers have freedom to their employment at the workshop who are paid directly by the resign and leave at any time.
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